SFI Small-Scale Forest Management Module for Indigenous ...

Optional Modules (Section 13) August 5, 2021 of 30

SFI Small-Scale Forest Management Module for Indigenous Peoples and Families 1. GENERAL

1.1 Scope

The SFI Small-Scale Forest Management Module for Indigenous Peoples and Families (the module) applies to individual small-scale forest properties or forest licenses and to groups of small-scale forests co-operating for the purposes of obtaining sustainable forest management certification.

The module offers the managers of small-scale public forests, including those within the jurisdiction of Indigenous governments, and owners of small-scale private forests the opportunity to participate individually or within a group certification organization, to benefit from the economies of scale afforded by working with a group of small-scale forest owners and managers of forest licenses.

1.2 Eligibility for certification under the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families

Any small-scale forest property or forest license managed or owned by Indigenous peoples, families, communities, or joint ventures where the total area in timber production does not exceed 20,000 hectares is eligible for certification to the module. The total area certified to the module may exceed 20,000 hectares when the non-timber producing areas and areas managed for conservation or recreation purposes are included.

Small-scale forest properties and forest licenses between 5,000 and 20,000 hectares must be under the management of a qualified resource professional or an individual that meets the legal requirements for planning and supervising forest management practices for the jurisdiction.

Small-scale forest properties and forest license include but are not limited to:

• Small forest properties or woodlots;

• British Columbia Woodlot Licences;

• Forestlands owned or managed by First Nations or Métis peoples, families, communities, or joint ventures (e.g., First Nations Woodland Licenses — British Columbia; County Forests — Ontario); and

• Crown forest licensed to communities (e.g., Community Forest Agreement — British Columbia; Lots Intramunicipaux — Quebec; Community Forests - Nova Scotia).

Forests with more than 20,000 hectares of land managed for timber production shall certify to the SFI 2022 Forest Management Standard.

Land used for purposes other than sustainable forest management are not within the scope of this module. Forestland converted from forest to non-forest uses shall not be


certified to this SFI Small-Scale Forest Management Module for Indigenous Peoples and Families. This does not apply to forestlands used for forest management infrastructure such as forest roads, log processing areas, recreation trails or hunting.

1.3 What the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families does

Private forest ownership in Canada consists of more than 450,000 forestland owners. In addition, there are many small-scale forests under the management of communities, Indigenous peoples, or the federal government on behalf of Indigenous peoples. The limited revenues from forest management operations on small-scale forests, their periodic management activities, as well as a limited financial ability to demonstrate their conformity to the requirements of a forest management certification system, may present significant barriers to certification. The module offers a pathway to certification for individual forests or for a group of forests operating as a group certification organization under a single certificate. The module allows members to sell fiber as certified forest content and satisfies the requirements for the use of SFI 2022 Chain-of-Custody Standard. The certified organization as defined in this module can also provide the management structure to address the forest management requirements associated with carbon-offset protocols.

1.4 What the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families covers: • requirements of the SFI 2022 Forest Management Standard applicable to small-scale

managed forests that seek to enhance forest management practices to address the conservation of biodiversity, protection of water quality and quantity, soil health and productivity, reforestation, and the use of qualified resource professionals and qualified logging professionals where available;

• additional requirements for sustainable forest management that are applicable to small-scale managed forests; and

• requirements relating to the management of the group certification organization (see Part 4).

1.5 Geographic Application of the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families The module applies to individually owned forests or managed public forests and group certification organizations in Canada.

2. REFERENCES This module incorporates, by dated or undated reference, provisions from other publications. These normative and informative references are cited at the appropriate places in the text and the publications are listed in 2.1. For dated and undated references, the latest edition of the application applies.


2.1 Normative references i. ISO/IEC 17021-1 — Conformity Assessment – Requirements for bodies providing

audit and certification of management systems ii. ISO/IEC Guide 2:2004 — Standardization and Related Activities – General

Vocabulary iii. SFI 2022 Standards and Rules:

• Section 2 — SFI 2022 Forest Management Standard • Section 8 — SFI Policies • Section 10 — SFI 2022 Audit Procedures and Auditor Qualification and

Accreditation • Section 11 — Communication and Public Reporting • Section 13 — Optional Modules • Section 14 — SFI Definitions

iv. Interpretations for the Requirements for the SFI 2022 Standards and Rules For the purposes of this module, the relevant definitions given in ISO/IEC Guide 2:2004 apply together with the definitions in the SFI Definitions (Section 14).

2.2 Informative References i. PEFC ST 1002:2018 — Group Forest Management Certification ii. PEFC ST 1003:2018 — Sustainable Forest Management – Requirements iii. Section 4 — SFI 2022 Chain-of-Custody Standard iv. Section 6 — Rules for Use of SFI On-Product Labels and Off-Product Marks v. Section 7 — Guidance to SFI 2022 Standards and Rules vi. Section 9 — SFI Standards Development and Interpretations Process vii. Section 12 — Public Inquiries and Official Complaints

2.3 Definitions All italicized terms in the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families are defined in Appendix 1.

3. PRINCIPLES The principles underlying this module are based on a belief that small-scale forest landowners and land managers have an important stewardship responsibility and commitment to society, and that they recognize the importance of managing forests for conservation and traditional values, in addition to commercial benefits. Landowners, managers and members of group certification organizations understand the need to keep forestland as forest and protected from conversion to non-forest use.


Individual forest landowners, land managers and group certification organizations certified to the module shall have written procedures to implement and achieve the requirements included in the module, that are consistent with and advance the following principles:

1. Sustainable Forestry To practice sustainable forestry means meeting the needs of the present while promoting the ability of future generations to meet their own needs by practicing a land stewardship ethic that integrates reforestation and the managing, growing, nurturing and harvesting of trees for useful products, and for the provision of ecosystem services such as the conservation of soil, air and water quality and quantity, climate change adaptation and mitigation, biological diversity, wildlife and aquatic habitats, recreation and aesthetics.

2. Forest Productivity and Health To provide for regeneration after harvest, maintain the health and productive capacity of the forest land base, and to protect and maintain long-term soil health and productivity. In addition, to protect forests from economically, environmentally or socially undesirable impacts of wildfire, pests, diseases, invasive species and other damaging agents and thus maintain and improve long-term forest health and productivity.

3. Protection of Water Resources To protect and maintain the water quality and quantity of water bodies and riparian areas, and to conform with forestry best management practices to protect water quality, to meet the needs of both human communities and ecological systems. 4. Protection of Biological Diversity To manage forests in ways that protect and promote biological diversity, including animal and plant species, wildlife habitats, ecologically and culturally important species, threatened and endangered species (i.e., Forest with Exceptional Conservation Values) and native forest cover types at multiple scales.

5. Aesthetics and Recreation To manage the visual impacts of forest operations, and to provide recreational opportunities for the public.

6. Protection of Special Sites To manage lands that are geologically or culturally important in a manner that takes into account their unique qualities.

7. Legal Compliance To comply with applicable federal, provincial, state, and local forestry and related environmental laws, statutes, and regulations.

8. Research To support advances in sustainable forest management through research, science, and technology.

9. Training and Education To improve the practice of sustainable forestry through training and education programs.


10. Community Involvement and Social Responsibility, and Respect for Indigenous Rights To broaden the practice of sustainable forestry on all lands through community involvement, socially responsible practices, and through recognition and respect of Indigenous Peoples’ rights and traditional forest-related knowledge.

11. Transparency To broaden the understanding of forest certification to the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families. by documenting certification audits and making the findings publicly available.

12. Continual Improvement To continually improve the practice of forest management, and to monitor, measure and report performance in achieving the commitment to sustainable forestry.

13. Responsible Fiber Sourcing To use and promote sustainable forestry across a diversity of ownership and management types in the United States and Canada that is both scientifically credible and socially, environmentally, and economically responsible and to avoid sourcing from controversial sources both domestically and internationally.

4. REQUIREMENTS FOR MANAGEMENT OF A GROUP CERTIFICATION ORGANIZATION The requirements of Part 4 apply only to the manager and members of a group certification organization. Part 4 does not apply to individual land managers or landowners.

4.1 Responsibilities of the group certification organization manager1: 4.1.1 Provide a commitment2 on behalf of the group certification organization to establish

and maintain practices and procedures in accordance with the requirements of this module.

4.1.2 Represent the group certification organization in the certification process, including communications and relationships with the certification body, submission of an application for a certification audit and the contractual relationship with the certification body.

4.1.3 Establish a formal relationship with each member based on a written agreement that shall include the member's commitment to participate in the group certification organization and comply with the conditions of membership, the requirements of the module and have their lands or tenures included in the forest certificate. The written agreement shall:

i. cover general information on the size and location of the area covered by the forest certificate and the management goals,

1 The requirements for the management of the group are based on eligibility criteria in Appendix 3 of this Module. 2 The requirement for member commitment is consistent with a requirement for a policy (or policies) to maintain and achieve principles of the SFI Small-Scale Forest Management Module for Indigenous Peoples, Families and Communities and the principles of the SFI 2022 Forest Management Standard.


ii. give the manager access to the member’s forest management plan, and iii. give the manager the authority to identify and require any corrective or

preventive measures and to initiate the suspension of any member from the forest certificate in the event of continuing nonconformity with the requirements of the module.

4.1.4 Establish procedures for inclusion of new members within the group certification organization including an internal assessment of conformity with the module as well as identification and implementation of corrective and preventive measures. The procedures will include receiving and reviewing applications from potential members, management plans and a field inspection of the managed forest to identify conditions that may require corrective action.

4.1.5 Maintain and achieve conformance with all requirements of the module. 4.1.6 Establish written procedures for the management of the group certification

organization and clearly define and assign responsibilities for sustainable forest management and conformance with the requirements for certification to the module.

4.1.7 Provide all members with information and guidance needed for effective implementation and maintenance of practices and procedures in accordance with the requirements of this module. This includes:

i. information sessions on various aspects of sustainable forest management including best management practices and practices for protection of wildlife and soil health.

ii. information on threatened and endangered species, as well as species at risk, found in the region including their habitat and requirements for protection.

iii. information on provincial and local regulations applicable to forest management.

4.1.8 Keep records on:

i. all members, including their contact details, identification of their tenure or property and the certified area;

ii. the total area covered by the group forest certificate; iii. commercial harvesting operations carried out on the forests owned/managed

by the group members; iv. the internal monitoring program and audits; v. the members’ conformity with the certification requirements of the module

and vi. forest management Objectives as defined in Part 5.

4.1.9 Maintain an annual monitoring program sufficient to ensure conformance with the requirements of the module by the group certification organization and individual members. The monitoring program shall be based on members’ reports of commercial harvesting operations and a sampling of members’ properties provided:


i. it is based on an appropriate risk management methodology considering: a. the scale and type of members’ activities (commercial harvesting

operations, road/trail construction, pesticide use, reforestation, silviculture);

b. geographic distribution of members within the area covered by the group certification organization;

c. categories of forestland ownership or tenure and size; and, d. previous non-conformities;

ii. the number of sites sampled equals at least the square root of the total number of participating members who have reported management activities in accordance with Part 5 during the interval between the annual monitoring programs.

4.1.10 Establish and maintain a system to monitor the conformity of members based on results of the monitoring data sufficient to assess performance of the group certification organization. This shall include a system for collecting, reviewing, and reporting information to the manager regarding progress in achieving conformity with the module.

4.1.11 Establish corrective and preventive measures as required and evaluate the effectiveness of corrective actions taken by members of the group certification organization.

4.1.12 Based on the results of the monitoring program, communicate to the relevant certification body those members with serious and continuing non-conformities that have not been resolved and that resulted in the member’s removal from the group certification organization.

4.1.13 Prepare an annual summary report detailing: i. evaluation of achievement of the forest management Objectives as defined in

Part 5; ii. the members in the group certification organization; iii. the total certified area; iv. the area covered by forest management activities; v. the types of forest management activities used by members (commercial

harvesting operations, road/trail construction and maintenance, reforestation silviculture);

vi. a list of known special sites; vii. the volumes of products harvested; and viii. the progress of conformance with the module including the implementation

of an internal monitoring program and measures to address preventative and/or corrective actions.

4.1.14 Establish a program(s) to:


i. support and promote mechanisms for public outreach, including other forest

owners and managers and ii. engage at the local or provincial level on issues related to sustainable forest

management.

4.1.15 Establish a program to respond annually to the SFI annual progress report surveys.

4.2 Responsibilities of the member:

4.2.1 To commit, through a written agreement with the group certification organization manager, to implement and maintain the relevant requirements of the module as listed in Part 5.

4.2.2 To present a forest management plan that is appropriate to the size of the forest property or tenure, the member's management goals, the scale and intensity of management as determined by a qualified resource professional or other qualified individual..

4.2.3 To respond effectively to all requests from the manager or a certification body for relevant data, documentation, or other information whether in connection with third-party audits, internal monitoring, annual reports on forest management operations, reviews, or other requirements.

4.2.4 To implement relevant corrective and preventive actions required by the manager.

5. REQUIREMENTS FOR SUSTAINABLE FOREST MANAGEMENT The individual forest landowner, land manager or group certification organization manager shall ensure conformance with the requirements in Part 5 for implementing forest management Objectives 1-9 and forest management practices on the certified area. Where the term member is used, the individual forest landowner or land manager shall understand these requirements to apply to him/her.


(Note: Guidance text appears throughout this section inside boxes. This guidance is meant to inform the forest landowner, land managers and group certification organization managers about the intent of the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families and how it may be applied on‐the‐ground. Guidance text is not considered normative language. Where the term member is used, the individual forest landowner, land manager may consider this guidance as being appropriate to him/her.)

Objective 1 — Forest Management Planning: To ensure forest management plans include long-term sustainable harvest levels and measures to avoid conversion to non-forest use. (Note: Members may consider adopting some of the forest management goals in the Guidance box above to improve forest health and productivity, promote biodiversity and protect water quality and quantity on the certified area.) Using members and/or land managers information sessions, an on-going monitoring system, and individual outreach to members, the manager shall ensure that the following aspects of forest management are implemented in conformance with the requirements of the module. The management plan shall:

i. be appropriate to the size of the managed forest, the member's or land manager’s forest management goals , and the scale and intensity of management.

ii. describe present forest conditions and forest conditions to be achieved; iii. make all practical efforts to promote forest health, including prevention, control, or

response to disturbances such as wildfire, invasive species and other pests, pathogens, or unwanted vegetation, to achieve specific forest management goals;

Examples of forest management goals are:

i. improve age class distribution;

ii. promote long-term sustainable harvest levels;

iii. increase hardwood component;

iv. increase amount of saw-timber;

v. promotion of non-timber forest products (e.g., maple syrup);

vi. encourage afforestation of marginal/sub-marginal lands no longer suitable for agriculture;

vii. support of programs for conservation of old growth forests, biological diversity, and water quality and quantity;

viii. promotion of integrated pest management practices; and

ix. promotion of opportunities for recreation.

x. additional goals as determined by the landowner and land manager.


iv. address species at risk and their habitat requirements as well as measures to conserve these species and their habitats within the area of management;

v. include measures to address known special sites and vi. provide information on other local, provincial, and federal regulations applicable to

forest management and threatened and endangered species including species at risk.

Objective 2 — Forest Health and Productivity: To ensure long-term forest productivity, carbon storage and conservation of forest resources through prompt reforestation, afforestation, minimized chemical use, soil conservation, and protecting forests from damaging agents.

i. An operating plan shall be prepared for each harvest activity (other than cutting volumes for personal use or cultural use) to document appropriate silviculture and regeneration methods and other forest management practices;

ii. All harvested areas shall be promptly regenerated through planting or direct seeding within two years or two planting seasons, or by planned natural regeneration methods within five years. Desirable advanced natural regeneration shall be protected during harvest;

iii. Plantings of native or non-invasive naturalized tree species are preferred. In exceptional circumstances where exotic tree species are planted, they should not increase the risk to native ecosystems;

Forests from 10 hectares to 20,000 hectares in area are eligible for certification under the module. The management plans will reflect the management goals, size of the forest and the scale of management operations. Larger forests will require an inventory upon which to base an assessment of the long-term sustainable harvest level and to permit planning and scheduling of harvest operations. Smaller forests require a simpler management plan.

Small-scale forest properties and forest licenses between 5,000 and 20,000 hectares must be under the management of a qualified resource professional or an individual that meets the legal requirements for conducting forest management for the jurisdiction.

The forest management plan is based on sound forest management science and embodies the members or land manager’s current management goals. It describes the present forest conditions and provides a practical schedule of silvicultural treatments to achieve the management goals. It includes: a map showing significant features of the forest and includes considerations of forest health, conservation of soil productivity, and water quality; timber production; protection of threatened and endangered species including species at risk; and special sites, traditional forest-related knowledge, and ecologically important sites. Forest management operations such as road construction, commercial harvesting operations and reforestation should be covered by an operating plan or comply with best management practices. See Appendix 2 for additional information regarding forest management plans.


iv. The use of fire is allowed as a silvicultural or forest management technique for achievement of defined forest management goals (e.g., enhancing the growth of non-timber forest products, enhancement of wildlife forage, hazard abatement near communities, etc.);

v. The use of integrated pest management is preferred. When pesticides are used, they shall be the least-toxic and narrowest-spectrum pesticides necessary to achieve forest management goals. The use of pesticides shall be controlled and minimized with preference for the use of integrated pest management methods;

vi. Use of pesticides registered for the intended use and applied in accordance with label requirements; and

vii. The use of WHO Type 1A and 1B pesticides3, chlorinated hydrocarbons and any pesticides banned by the Stockholm Convention on Persistent Organic Pollutants is prohibited.

Objective 3 — Protection and Maintenance of Water Resources: To protect the water quality and quantity of rivers, streams, lakes, wetlands, and other water bodies through meeting or exceeding best management practices.

i. Members shall implement federal and provincial water quality best management practices and practices to protect water quantity during all phases of management activities.

ii. Contract provisions shall specify conformance to best management practices. iii. Harvest and road building activities shall be conducted during weather conditions

that minimize impacts on residual trees, biodiversity, water quality and quantity and soil resources.

3 Exemptions are allowed where no other viable alternative exists.

The member ensures adequate stocking with desirable and site-adapted species throughout the harvested area by prompt tree planting or natural regeneration within five years of harvesting. Tending of young trees may be required to achieve free-to-grow status. Use of prescribed burning, when it is utilized, complies with all local and provincial regulations. Afforestation, where it is practiced, should consider potential ecological impacts of the selection and planting of tree species in non-forested landscapes avoiding conversion of native grasslands and wetlands to forests.. Afforestation should be considered for soils that are marginal or sub-marginal for agricultural use (stony soils, steep topography, etc.). Afforestation can increase habitat for forest-dependent wildlife, moderate stream flow and contribute to the rural economy. Although pesticides can be an effective silvicultural tool, members should first consider integrated pest management techniques. Pesticides are be used by trained and licensed applicators.


iv. Member shall have measures for the protection of rivers, streams, lakes, wetlands, other water bodies and riparian areas during all phases of management, including the layout and construction of roads and skid trails to maintain water quality and quantity.

v. Use qualified logging or qualified resource professionals where they are available if the member is not conducting the work him/herself.

vi. Harvesting and log transportation operations shall be conducted in conformity with the requirements of this module.

Objective 4 — Conservation of Biological Diversity: To maintain or advance conservation of biological diversity at the stand- and landscape-level and across a diversity of forest cover types, vegetation cover types and successional stages, including the conservation of forest plants and animals, including aquatic species, as well as threatened and endangered species, Forests with Exceptional Conservation Value, old-growth forests, and ecologically important sites.

i. Implementation of practices, as guided by regionally based best scientific information, or traditional forest-related knowledge to retain stand-level wildlife habitat elements such as snags (where safe to do so), stumps, mast trees, down woody debris, den trees and nest trees.

ii. Identification and protection of non-forested wetlands, including bogs, fens and marshes, and vernal pools that are ecologically important.

iii. Maintain habitat for threatened and endangered species including species at risk by providing age class diversity wherever feasible and appropriately considering other conservation and ecological factors or culturally important species.

iv. The member shall have access to information on the occurrence, habitat, and requirements for protection of threatened and endangered species including species at risk found in the certified area covered by the forest certificate.

Carry out forest management and road construction operations during weather conditions that minimize site disturbance. The member applies provincial regulations and best management practices to mitigate impacts of forestry operations on water resources. Members should have written agreements with contractors that have completed training programs and are recognized as qualified logging or resource professionals where they are available. Members should keep records of harvests and ensure the efficient utilization of all felled trees.

Road construction and other operations likely to cause soil disturbance are minimized in riparian areas and near wetlands. Drainage structures of sufficient size are installed to maintain natural drainage patterns and do not impede the passage of fish.


Objective 5 — Management of Visual Quality and Recreational Benefits: To manage the visual impact of forest operations and provide recreational opportunities for the public.

i. When considering harvest opening size the member shall take into account: a. relevant regulations applicable to tree harvesting; b. management plan goals and current stand conditions; c. topography and viewpoints; and d. local values and practices regarding harvest opening size.

ii. Average size of clearcut harvest areas does not exceed 50 hectares (120 acres), except when necessary to meet regulatory requirements, achieve positive ecological outcomes or to respond to forest health emergencies or other natural catastrophes.

iii. Trees in clearcut harvest areas are at least 3 years old or 1.5 meters high at the desired level of stocking before adjacent areas are clearcut, or as appropriate to address operational and economic considerations, alternative methods to reach the intent of the Objective are utilized by the member.

iv. On public forests, provide recreational opportunities for the public, where consistent with forest management goals.

Objective 6 — Protection of Special Sites To manage lands that are geologically or culturally important in a manner that takes into account their unique qualities.

i. Using information such as existing natural heritage data, traditional forest-related knowledge, or expert advice, members shall be aware of heritage and cultural sites on their properties or tenures and will consider local values when conducting operations to minimize impacts on these sites.

The member is aware of the presence and location of ecologically important sites such as vernal pools, riparian areas, wetlands, stick nests and den trees. The member has received and has used information on local occurrence of threatened and endangered species including species at risk and requirements for habitat protection. Use of qualified logging or resource professionals where available should be considered for planning and conducting forest management activities.

The member applies the appropriate management practices to determine the cut block size and shape in order to mitigate impacts on aesthetics.

Heritage sites such as stone walls, old foundations, or other sites of geological or cultural importance, including sites of cultural importance for Indigenous Peoples, are identified before a forest management operation takes place. The member or land manager uses good judgement based on local values to decide on protection.


Objective 7 — Recognize and Respect Indigenous Peoples’ Rights: To recognize and respect Indigenous Peoples’ rights and traditional knowledge.

i. Members managing forestland that is wholly or partially on public lands shall recognize and respect Indigenous Peoples’ rights. This requires a program for conferring with affected Indigenous Peoples to enable members to:

a. understand and respect traditional forest-related knowledge; b. identify and protect spiritually, historically, or culturally important sites; c. address the use of non-timber forest products of value to Indigenous Peoples

in areas where members have management responsibilities on public lands; and

d. respond to Indigenous Peoples’ inquiries and concerns received. ii. Where Crown government agencies responsible for consultation with affected

Indigenous Peoples regarding forest management operations on forestland exist, these agencies shall be the primary means of communicating with Indigenous Peoples whose rights may be affected by the member’s management practices, unless explicitly delegated to the member by said agency through written direction or regulation.

Objective 8 — Legal and Regulatory Compliance: To comply with applicable federal, provincial, and local laws and regulations.

i. The member shall either a) hold legal title to the property and shall ensure that property boundaries are clearly defined, or b) demonstrate legal tenure for public forestlands and ensure that tenure boundaries are clearly defined;

ii. There is a program to ensure legal and regulatory compliance. The program shall ensure that members: a. are aware of applicable federal, provincial, and local environmental laws and

regulations, including those specific to sustainable forest management and the recognition of Indigenous Peoples’ rights;

b. have a system to achieve compliance with applicable federal, provincial, or local laws and regulations; and

c. have access to information on threatened and endangered species including species at risk in the certified area.

Consultation is required only when the forestland under management is wholly or partially on public land. In all cases Certified Organizations shall respect the processes, laws, and direction received from relevant government agencies derived through nation-to-nation relationships where the certification takes place. Where appropriate, Certified Organizations should consider consultation regarding traditional forest-related knowledge.


Objective 9 — Community Involvement and Outreach: To broaden the practice of sustainable forestry through public outreach, education, and involvement and to support the efforts of SFI Implementation Committees.

i. Members and managers of group certification organizations shall engage with their provincial or regional SFI Implementation Committee.

ii. Members and managers of group certified organizations promote certification among the forest owners and managers community.

iii. When requested by the members, the manager of the group certification organization shall organize an annual meeting to review the activities, accomplishments and problems encountered during the year, as well as future plans for the group certification organization.

The manager of a group certification organization should provide all members a copy of all applicable laws and regulations. These regulations can be provided in digital format. Members should use this information to ensure compliance. Use of qualified logging or resource professionals where available should be considered for conducting forest management activities.

Having the group certification organization manager represent their members on the SFI Implementation Committee will assist with representing members within the provincial or regional SFI community. This will allow members to stay informed about developments with the SFI program.

Annual meetings of the group certification organization are an effective means of sharing group accomplishments, discussing developments in forest management and learning of updates to provincial programs supporting small-scale private forest members or small-scale public forest tenures.


Appendix 1. Definitions (normative) The following definitions apply to italicized words in the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families.

acceptable forest management standards: These standards are all endorsed in the United States and Canada by the Program for the Endorsement of Forest Certification schemes (PEFC).

• SFI 2022 Forest Management Standard • Canadian Standards Association (CAN/CSA-Z809) • SFI Small-Scale Forest Management Module for Indigenous Peoples and Families

afforestation: Establishment of forest through planting and/or deliberate seeding on land that, until then, was under a different land use, implies a transformation of land use from non-forest to forest (source: FAO 2018). aquatic species: Animals that live on or within water during some stage of their development. best management practices (BMPs): A practice or combination of practices for protection of water quality that is determined by a federal, provincial, state, or local government or other responsible entity, after problem assessment, examination of alternative practices, and appropriate public participation, to be the most effective and practicable (including technological, economic, and institutional considerations) means of conducting a forest management operation while addressing any environmental considerations. best scientific information: Available factual information that is generally accepted by the broad scientific community. It includes but is not limited to peer-reviewed scientific information obtainable from any source, including government and non-governmental sources, that have been verified by field testing to the maximum extent feasible. biological diversity, biodiversity: The variety and abundance of life forms, processes, functions, and structures of plants, animals, and other living organisms, including the relative complexity of species, communities, gene pools and ecosystems at spatial scales that range from local to regional to global. certification body: An independent third party that is accredited by: • ANSI-ASQ National Accreditation Board (ANAB) as being competent to conduct certifications

to the SFI 2022 Forest Management Standard, SFI Fiber Sourcing Standard, SFI Chain-of-Custody Standard or SFI Certified Sourcing Standard, SFI Small Lands Group Certification Module, or SFI Small Scale Forest Management Module for Indigenous Peoples and Families.

• Standards Council of Canada (SCC) as being competent to conduct certifications to the SFI

2022 Forest Management Standard, SFI Fiber Sourcing Standard, SFI Chain-of-Custody Standard or SFI Certified Sourcing Standard, SFI Small Lands Group Certification Module, or SFI Small Scale Forest Management Module for Indigenous Peoples and Families.

certified area: The forest area covered by a SFI 2022 Forest Management Standard or SFI Small-Scale Forest Management Module for Indigenous Peoples and Families certificate. In the


group certification context, the certified area is the sum of forest areas of the participants and covered by a group forest certificate. certified forest content: Raw material from lands third-party certified to acceptable forest management standards. certified organization: An organization certified by an accredited certification body to be in conformance with the SFI 2022 Forest Management Standard, SFI Small-Scale Forest Management Module for Indigenous Peoples and Families, SFI 2022 Fiber Sourcing Standard, SFI 2022 Chain of Custody Standard and/or the SFI 2022 Certified Sourcing Standard. commercial harvesting operations: Wood harvested for sale or trade. conservation: 1. Protection of plant and animal habitat. 2. The management of a renewable natural resource with the objective of sustaining its productivity in perpetuity while providing for human use compatible with sustainability of the resource. culturally important: Having significance for or being representative of human activities or beliefs (e.g., documented areas such as cemeteries, sacred sites). ecologically important: Ecologically important can be defined as applying to natural communities, biological, ecological, or physical features which, either by themselves or in a network, contribute significantly to an ecosystem’s productivity, biodiversity, and resilience. Ecologically important areas may be so identified by the inclusion of viable occurrences of species or natural communities that are integral to the identity or function of an ecosystem, but which may be relatively uncommon on the landscape, including species or ecological communities with a high “S-Rank” or “G-Rank” from NatureServe, subject to the discretion of the Certified Organization. exotic tree species: A tree species introduced from outside its natural range. This does not include species that have become naturalized in an area and have a naturally reproducing population. (Note: Hybrids of native species or native plants that have been derived from genetic tree improvement and biotechnology programs are not considered exotic species.) forest certificate: A document confirming that an individual small-scale forest or members of a group certification organization conform to the requirements for certification to the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families. forest cover type: Classification of a forest stand by the dominant tree species or combination of tree species present. Unless required to use a regulatory system of forest cover type classification the Certified Organization shall use the Society of American Foresters Forest Cover Types of the United States and Canada (Eyre, 1980). forest health: The perceived condition of a forest derived from concerns about such factors as its age, structure, composition, function, vigor, presence of unusual levels of insects or disease, and resilience to disturbance. Forests with Exceptional Conservation Value: Critically imperiled (G1) and imperiled (G2) species and ecological communities.


critically imperiled: A plant or animal or community, often referred to as G1, that is globally extremely rare or, because of some factor(s), especially vulnerable to extinction. Typically, five or fewer occurrences or populations remain, or very few individuals (<1,000), acres (<2,000 acres or 809 hectares), or linear miles (<10 miles or 16 kilometers) exist (Further information can be found under Forests with Exceptional Conservation Value in Section 7 of the SFI 2022 Standards and Rules). imperiled: A plant or animal or community, often referred to as G2, that is globally rare or, because of some factor(s), is very vulnerable to extinction or elimination. Typically, six to 20 occurrences, or few remaining individuals (1,000 to 3,000), or acres (2,000 to 10,000 acres or 809 to 4,047 hectares), or linear miles (10 to 50 miles or 16 to 80.5 kilometers) exist. (Further information can be found under Forests with Exceptional Conservation Value in Section 7 of the SFI 2022 Standards and Rules.)

group certification organization: A specific type of multi-site organization where forest owners, forest owners’ organizations, forest managers, forest products manufacturers or forest products distributors without a pre-existing legal or contractual link can form a group for the purposes of achieving certification and gaining eligibility for a sampling approach to certification audits. habitat: 1. A unit area of environment. 2. The place, natural or otherwise (including climate, food, cover and water) where an individual or population of animals or plants naturally or normally lives and develops. Indigenous Peoples: Inclusive of all Indigenous Peoples residing in Canada. More specifically, Indigenous Peoples includes peoples that are recognized by section 35(2) of the Constitution Act, 1982. In Canada, Indigenous and Northern Affairs Canada provides a list of the 619 recognized First Nations by province. Rights-holding Métis communities in Canada, as per S. 35(2) of the Constitution Act, 1982, include but are not limited to governing members of the Métis National Council as well as the Métis Settlements General Council. integrated pest management: The careful consideration of all available pest control techniques and subsequent integration of appropriate measures that discourage the development of pest populations and keep pesticides and other interventions to levels that are economically justified and reduce or minimize risks to human health and the environment (source: FAO 2018). invasive species(invasive): Species introduced from another country or geographic region outside its natural range that may have fewer natural population controls in the new environment, becoming a pest or nuisance species. land manager: An individual or organization authorized by the member/license holder to manage their forestland within the certified area and has the ability and management authority to implement the certification requirements of the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families.

https://fnp-ppn.aadnc-aandc.gc.ca/fnp/Main/Search/SearchFN.aspx?lang=eng

https://fnp-ppn.aadnc-aandc.gc.ca/fnp/Main/Search/SearchFN.aspx?lang=eng


landscape: 1. A spatial mosaic of multiple ecosystems, landforms, and plant communities across a defined area irrespective of ownership or other artificial boundaries and repeated in similar form throughout. 2. An area of land characterized by: • similar biogeoclimatic conditions that influence site potential; • similar historical disturbance regimes that influence vegetation structure and species

composition; and • sufficient size to provide the range of habitat conditions for naturally occurring communities

(except for a few megafauna with large spatial needs, e.g., wolves). least-toxic and narrowest-spectrum pesticide: A chemical preparation used to control site-specific pests that minimizes impact to non-target organisms and causes the least impact to while meeting management objectives. The management objectives should consider the target pest, the degree of control needed, and other issues, such as season and timing of application, rates and methods, terrain, forest conditions, and the presence or absence of water bodies. local (when used in Objective 11 Forest Management Standard and Objective 4 Fiber Sourcing Standard): a level of government below federal, state or province such as county, district, city, township, municipality, town, or parish. long-term: Extending over a relatively long time period — for the SFI 2022 Standards, this means the length of one forest management rotation or longer. member: A land manager or landowner who has agreed to join the group certification organization and conform with the requirements of the SFI Small-Scale Forest Management Module for Indigenous Peoples and Families. minimize: To do only that which is necessary and appropriate to accomplish the task or Objective described. native: Species of ecological communities occurring naturally in an ecological region, as neither a direct or indirect consequence of recent human activity. (Ecological Regions of North America: Levels I-II) natural community: Natural communities are combinations of native plants and animals that are regularly found together in particular settings. Human-caused disturbances have been minimal, consistent with historical disturbance regimes (e.g., prescribed fire), or the natural community has recovered from that disturbance, or the human-caused disturbance falls within the range of natural disturbance. (Adapted from NatureServe).

non-forested wetland: A transitional area between aquatic and terrestrial ecosystems that does not support tree cover and is inundated or saturated for periods long enough to produce hydric soils and support hydrophytic vegetation. non-timber forest products (NTFPs): Products derived from forests other than round wood or wood chips. Examples include, but are not limited to, seeds, fruits, nuts, honey, maple syrup, and mushrooms. old-growth forests: A forested ecosystem distinguished by old trees and related structural attributes, such as tree size, down woody debris, canopy levels, and species composition.


Certified Organizations should utilize a definition specific to their region and particular forest types. personal use: Firewood or logs cut for personal use, not for sale or trade, limited to 50 cubic metres per year. planting: The establishment of a group or stand of young trees created by direct seeding or by planting seedlings or plantlets. practice(s): The actual application or use of an idea, belief, or method, as opposed to theories relating to it. productivity: The inherent capacity of a particular site or ecosystem to produce a crop or tree stand, often measured in volume or height. program: An organized system, process or set of activities to achieve an Objective. protection (or protect): Maintenance of the status or integrity, over the long term, of identified attributes or values including management where appropriate and considering historical disturbance patterns, fire risk and forest health when determining appropriate conservation strategies. qualified logging professional: A person with specialized skills in timber harvesting who has successfully completed wood producer training programs and continued education requirements recognized by SFI Implementation Committees as meeting the spirit and intent of performance measures under Objective 13 in the SFI 2022 Forest Management Standard or Objective 6 in the SFI 2022 Fiber Sourcing Standard.

a. Each crew must include a qualified logging professional who (1) has completed the SFI Implementation Committee approved wood producer training program; (2) is an owner of, employee of, or contracted by the wood producer; (3) has direct responsibility and is on-site regularly to consistently carry out the roles and responsibilities of the qualified logging professional under the SFI 2022 Standard(s) (e.g., safety, protection of soils, streams, and other water bodies).

b. To be considered a qualified logging professional, an individual must complete the required training appropriate to their level of responsibility (e.g., owner, supervisor, employee) within the specified time period required by their SFI Implementation Committee. SFI Implementation Committees have the flexibility to require different training requirements for owners of logging businesses versus training requirements for other employees (e.g., supervisors). Once classified as a qualified logging professional, the individual must complete the required SFI Implementation Committee maintenance training within the prescribed time period to retain their status as a qualified logging professional.

qualified resource professional: A person who by training and experience can make forest management recommendations. Examples include foresters, soil scientists, hydrologists, forest engineers, forest ecologists, fishery and wildlife biologists or technically trained specialists in such fields.


reforestation: The reestablishment of forest cover either naturally or by seeding or planting of seedlings. riparian area: Transition zone characterized by vegetation or geomorphology adjacent to rivers, streams, lakes, wetlands, and other water bodies. SFI Implementation Committee: A state, provincial, or regional committee organized by Certified Organizations to facilitate or manage the programs and alliances that support the growth of SFI certification, including sustainable forest management. SFI Small-Scale Forest Management Module for Indigenous Peoples and Families: The principles, policies, and requirements that detail specific small-scale forest management requirements for Certified Organizations. SFI Section 10 - 2022 Audit Procedures and Auditor Qualifications and Accreditation: The principles and guidelines that detail specific requirements to Certified Organizations and certification bodies for conducting audits to the SFI 2022 Forest Management, Fiber Sourcing and Chain-of-Custody Standards. SFI 2022 Chain-of-Custody Standard: The requirements that detail processes for tracking fiber content from certified forest content, recycled content, and certified sourcing. SFI 2022 Forest Management Standard: The principles, policies, objectives, performance measures and indicators that detail specific forest management requirements for Certified Organizations. silviculture: The art and science of controlling the establishment, growth, composition, health, and quality of forests and woodlands to meet the diverse needs and values of land managers and society on a sustainable basis. skid trail: A temporary path through the woods to transport felled trees or logs to a collection area for further transportation. small-scale forest property or forest license: Forests on public, title, treaty, reserve/reservation, fee-simple, or private land, that are owned or managed by an individual, group of investors or a municipality or county, that meet the size requirements in clause 1.1.2, are eligible to participate in an SFI Small-Scale Forest Management Module for Indigenous Peoples and Families certification program. soil health: The continued capacity of soil to function as a vital living ecosystem that sustains plants, animals, and humans. (USDA) special sites: Sites that include geologically unique or culturally important features. stand: A contiguous group of trees sufficiently uniform in age, composition, and structure, and growing on a site of sufficiently uniform quality, to be a distinguishable unit. sustainable forestry: To meet the needs of the present without compromising the ability of future generations to meet their own needs by practicing a land stewardship ethic that


integrates reforestation and the managing, growing, nurturing, and harvesting of trees for useful products and ecosystem services such as the conservation of soil, air and water quality, carbon, biological diversity, wildlife and aquatic habitats, recreation, and aesthetics. sustainable forest management: The management of forests and forestland in a way and at a rate that maintains their biodiversity, productivity, regeneration capacity, vitality, and potential to fulfil ecological, economic, and social functions. Sustainable Forestry Initiative Inc. (SFI): SFI Inc. is a 501c (3) non-profit charitable organization, and is solely responsible for maintaining, overseeing and improving the Sustainable Forestry Initiative. SFI Inc. directs all elements of the Sustainable Forestry Initiative including the SFI Standard(s), including forest management, fiber sourcing, and chain-of-custody certifications, and labeling and marketing. SFI Inc. is overseen by a three-chamber board of directors representing social, environmental, and economic sectors. threatened and endangered: Listed under The U.S. Endangered Species Act or The Canadian Species at Risk Act and listed under applicable state or provincial laws requiring protection. traditional forest-related knowledge: Forest-related knowledge owned and maintained by Indigenous Peoples as a result of their traditional use of or tenure on forestland. vernal pool: A seasonal wetland with sufficient water present during amphibian breeding season, absence of fish, and presence of wetland obligate fauna. visual quality: The seen aspects of both the land and the activities that occur upon it. wetland: (1) seasonally or permanently water-logged areas characterized by vegetation adapted for life in saturated /flooded conditions; (2) wetlands can be forested, shrubby or open and include bogs, fens, swamps, marshes, shallow open water areas or non-forested wetlands; (3) wetlands may be stagnant systems (e.g., bogs, vernal pools), slow flowing (e.g., fens, swamps) or have fluctuating water levels (e.g., marshes, shallow open water). wildlife: Aquatic (marine and freshwater) and terrestrial fauna. wood producer: A person or organization, including loggers and wood dealers, involved in harvesting, or regularly supplying wood fiber directly from the forest for commercial purposes.


Appendix 2. Forest Management Plan (informative) In some jurisdictions, small-scale forest landowners and managers of small-scale public forests are required to use a government approved forest management plan template. For those jurisdictions where this is not a requirement, this Appendix details the elements that should be considered when preparing a forest management plan. An illustrative table of contents is included to assist with preparation.

The forest management plan should document the following information:

a. names and contact information of the registered landowner(s) or tenure holder(s) (i.e., the group certification organization’s members)

b. forest location (e.g., lot, concession, township, county) or tenure document

c. the size of the managed forest

d. a map (or aerial photo) showing: i. property boundaries ii. existing infrastructure (roads, trails, etc.) iii. location of watercourses and wetlands iv. area under management for timber production v. area managed for conservation/recreation purposes vi. known forest values (e.g., special sites), etc.

e. description of forest stands f. prioritization of the management goals for the next 10-year period (e.g., timber

production, recreation, conservation, maple syrup production, etc.) g. professional recommendations to achieve the management goals

h. schedule of management operations including the timing of the next harvest, silvicultural

activity, or construction of access roads/trails

i. a brief history of the property (length of ownership, past management activities, etc.)

j. a basic inventory of the forest under the plan. At a minimum, this inventory should consist of the species composition, basal area, and level of stocking

Where the land manager or member has access to some or all of the above information in digital format, it may be possible to represent the location and schedule of forest management operations using GIS or similar tools.

A list of legislation and policies (federal, provincial, local) that may affect forest management activities on the forest will be available to all group certification organization members.

A forest operations prescription/operating plan should be required for all road construction, silvicultural treatments, and commercial harvest operations. A municipal permit may also be required.


Example Table of Contents for a Forest Management Plan 1: Property Owner or Tenure Holder Information

1.1 Registered Property Owner(s) / Tenure Holder .......................................................

1.2 Plan Author Information ........................................................................................

2: Property or Tenure Location Information ............................................................................

2.1 Property / Tenure Location ....................................................................................

2.2 Federal, Provincial and Local Policies and Regulations ..............................................

3: Property / Tenure History ...............................................................................................

3.1 History .................................................................................................................

3.2 Species at Risk .....................................................................................................

3.3 Local Natural Heritage Features .............................................................................

4: Property / Tenure Map & Surrounding Area ......................................................................

5: Member Forest Management Goals .................................................................................

5.1 General Management Goals ...................................................................................

5.2 Detailed Property / Tenure management outcomes ..................................................

5.3 Strategies to Meet Property / Tenure Goals ............................................................

6: Detailed Property / Tenure Map ......................................................................................

7: Managed Forest Compartment Descriptions ......................................................................

7.1 Forest Inventory Techniques ..................................................................................

7.2 Forest Compartment Summary by Land Parcel ........................................................

7.3 General Forest Soil & Drainage Description .............................................................

7.4 Wildlife Habitat Inventory ......................................................................................

8: Ten-Year Activity Summary 202X–202X ...........................................................................

9: Report of Activities 202X–202X........................................................................................

10: Access Trails ................................................................................................................

10.1 Access Trail Goals ................................................................................................

10.2 Basic Trail Design Concepts ................................................................................... 10.3 Trail Construction Best Management Practices .........................................................

11: Wildlife & Cavity Trees ..................................................................................................

12: Coarse Woody Debris & Fine Woody Debris ....................................................................

13: Buffer Zones Around Water & Open Wetlands .................................................................


Appendix 3 – Requirements for Group Certification Organizations (normative)

(taken from SFI Section 10 – SFI 2022 Audit Procedures and Auditor Qualifications and Accreditation: Appendix 2, Group Certification

Organizations)

1. Scope Audits of group certification organizations to assess conformance with the SFI Small Scale Forest Management Module for Indigenous Peoples and Families. 2. References IAF Mandatory Document for The Certification of Multiple Sites Based on Sampling Issue 2, Clause 6.1: Methodologies for Auditing of a Multi-site Organization Using Site Sampling (IAF MD1: 2018) IAF Mandatory Document for Duration of Quality, Environmental and Occupational Health and Safety Management Systems (IAF MD 5: 2019) — (Informative). 3. Group Certification Organizations 3.1 Group certification organizations formed to achieve SFI Small Scale Forest Management

Module for Indigenous Peoples and Families certification shall meet the requirements in this Appendix.

Group certification organizations formed to achieve SFI Small Scale Forest Management Module for Indigenous Peoples and Families certification, shall submit all the forest area under management within the area for the group certificate. All members in the group certification organization shall be subject to the internal monitoring and the internal audit program.

3.2 Commitment and policy 3.2.1 The group certification organization shall require a commitment:

a. to comply with module requirements and other applicable requirements of the certification system;

b. to integrate the group certification organization requirements in the group management system;

c. to continuously improve the group management system; d. to continuously support the improvement of the sustainable forest

management by members of the module group certification organization.

The commitment may be part of a group management policy and shall be publicly available upon request.


3.2.2 Members in the group certification organization shall provide a commitment

a. to follow the requirements of the management system; b. to implement the requirements of the module in their operations.

3.2.3 Where a group certification organization plans any changes in the group

management system, these changes shall be included in a group management plan.

3.2.4 Where a group certification organization decides to fulfil requirements of the module, these requirements shall be considered in a group management plan.

3.2.5 The group certification organization shall determine and maintain the resources needed for the establishment, implementation, maintenance, and continual improvement of the group management system.

3.2.6 The group certification organization shall define the necessary competence of persons doing work in the group management system.

3.2.7 The group certification organization shall have communication processes in place to raise the awareness of group members concerning: a. the group management policy; b. the requirements of the module; c. their contribution to the effectiveness of the group management system,

including the benefits of improved group performance; d. the implications of not conforming with the group management system

requirements, and e. the group certification organization shall determine the processes required for

internal and external communications. 3.3 Organizational roles, responsibilities, and authorities for the Group Certification

Organization 3.3.1 Functions and responsibilities of the Group Manager

The following functions and responsibilities of the group manager shall be specified: a. implement and maintain an effective management system covering all

group members; b. represent the group certification organization in the certification process,

including in communications and relationships with the certification body, submission of an application for certification, and contractual relationship with the certification body;

c. establish written procedures for the management of the group certification organization;

d. establish written procedures for the acceptance of new members of the group certification organization. These acceptance procedures


shall cover at least the verification of the applicant’s information about contact details, clear identification of their forest property and its/their size(s);

e. establish written procedures for the suspension and exclusion of members who do not correct/close nonconformities. Members excluded from any group certification organizations based on nonconformities cannot be accepted within 12 months after exclusion;

f. keep documented information of: i. the group manager and members’ conformity with the

requirements of the module, ii. all members, including their contact details, identification of

their forest property and its/ their size(s), iii. the certified area, iv. identification of affected stakeholders (for forest management

group certification organizations), v. the implementation of an internal monitoring program, its

review and any preventive and/or corrective actions taken;

g. documented information relevant to the group management system and the conformance with the requirements of the module shall be up to date and adequately protected against loss of confidentiality, improper use, or loss of integrity.

h. establish connections with all members based on a binding written agreement which shall include the members commitment to comply with the module. The group manager shall have a written contract or other written agreement with all members covering the right of the group manager to implement and enforce any corrective or preventive measures, and to initiate the exclusion of any member from the scope of certification in the event of nonconformity with the module;

i. provide all members with a document confirming participation in the group certification organization.

j. provide all members with information and guidance required for the effective implementation and maintenance of the module;

k. address nonconformities reported from members which were identified under other certifications than the particular group certification organization and to ensure implementation with all members;

l. operate an internal monitoring program that provides for the evaluation of the group certification organization’s conformity with the module requirements;

m. operate an annual internal audit program covering both members and group manager;

n. operate a management review of the group certification organization and act on the results from the review;


o. provide full co-operation and assistance in responding effectively to all requests from the certification body, accreditation body for relevant data, documentation or other information; allowing access to the forest area covered by the group certification organization;

p. maintain appropriate mechanisms for resolving complaints and disputes relating to group management and the module requirements.

3.3.2 Function and responsibilities of Members

The following functions and responsibilities of the members shall be specified: a. to provide the group manager with a binding written agreement,

including a commitment on conformity with the module requirements and other applicable requirements of the certification system; members excluded from any certification group cannot apply for group membership within 12 months after exclusion;

b. to provide the group manager with information about previous group certification organization participation;

c. to comply with the module and other applicable requirements of the certification system as well as with the requirements of the management system;

d. to provide full co-operation and assistance in responding effectively to all requests from the group manager, or certification body for relevant data, documentation or other information; allowing access to the forest;

e. to inform the group manager about nonconformities identified under other certifications than the particular group certification organization;

f. to implement relevant corrective and preventive actions established by the group manager.

4. Evaluating the Group Certification Organization Performance

4.1 Monitoring of Group Certification Organization Performance

4.1.1 The group certification organization shall maintain an internal monitoring program that provides confidence in the conformity of the group organization with the module requirements. The program shall determine: a. what shall be monitored and measured; b. the methods for monitoring, measurement, analysis and evaluation, as

applicable, to ensure valid results; c. when the monitoring and measuring shall be performed; d. when the results from monitoring and measurement shall be analysed and

evaluated; e. what documented information shall be available as evidence of the results.

4.1.2 The group certification organization shall evaluate the group management performance and the effectiveness of the group management system concerning the implementation of the module requirements.


4.2 Internal Audit4 4.2.1 The annual internal audit program shall provide information on

whether the group certification organization’s management system: a. conforms to the group certification organization’s own requirements for its

group management system and the requirements of the module; b. ensures the implementation of the module requirements at the member level; c. is effectively implemented and maintained.

4.2.2 The internal audit program shall cover the group manager and all

members. The group manager shall be audited annually. The members may be selected on a sample basis.

4.2.3 The internal audit program which shall cover at least: a. the audit planning process; b. the audit criteria and scope; c. the competence and impartiality of the auditors; d. reporting the audit result to the group certification organization

management; e. retaining of evidence of the implementation of the audit program

and the audit results.

4.2.4 The internal audit program shall include procedures for5: a. determination of the sample size; b. determination of sample categories; c. distribution of the sample to the categories; d. selection of the members.

4.2.5 At least 25% of the audit sample should be selected at random with the remaining sites selected on the basis of a risk assessment.

4.3 Nonconformity, corrective and preventative action

4.3.1 When a nonconformity occurs, the group manager shall implement corrective action and mitigate the impacts to the extent possible;

4.3.2 The group manager shall evaluate the need for preventative action to

eliminate the causes of the nonconformity by: a. reviewing the nonconformity; b. determining the causes of the nonconformity; c. determining if similar nonconformities exist, or could potentially

occur; d. implement any action needed; e. review the effectiveness of any corrective action taken; f. make changes to the group management system, if necessary.

4 When designing and implementing a program to evaluate conformance with the SFI Small Scale Forest Management Module for Indigenous Peoples and Families, Certified Organizations should reference ISO 19011 Guidelines for auditing management systems. 5 Group certification organizations should reference IAF MD-1 for further information regarding audit sample selection.


4.3.3 The group manager shall retain documented information as evidence of: a. the nature of the nonconformities and any subsequent actions

taken; b. the results of any corrective action.

4.3.4 A member who was excluded from a group certification organization

shall be internally audited by the group manager before they are allowed to re-enter the group certification organization. The internal audit shall not take place sooner than 12 months after the exclusion.

4.4 Management review and Continual Improvement

4.4.1 An annual management review shall at least include: a. the status of actions from previous management reviews; b. changes in external and internal issues that are relevant to the group

certification organization’s management system; c. the status of conformity with the module, that includes reviewing the

results of the internal monitoring program the internal audit and the certification body’s evaluations and surveillance;

d. information on the group certification organization’s performance, including trends in:

i. nonconformities and corrective actions; ii. monitoring and measurement results; iii. audit results;

e. opportunities for continual improvement.

4.4.2 The outputs of the management review shall include decisions related to continual improvement opportunities and any need for changes to the group certification organization’s management system.

4.4.3 The group certification organization shall retain documented information as evidence of the results of management reviews.

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